PRASHANT SHIVRAM GURAM
Corporate Banking, Custody Business, Uat Testing
Mumbai
Summary
Banking and capital markets professional with 15+ years of experience in Custody Services, Depository Operations, Clearing & Settlement, PMS operations, ADR/GDR processing, Billing, Audit, and system UAT. Proven expertise in operational excellence, regulatory compliance, and process improvement. Strong background in institutional trade support, margin reporting, and client servicing.
Overview
21
21
years of professional experience
4
4
Certifications
Work History
Deputy Manager – Custody Services
SBISG Global Securities Services Private Limited
06.2022 - Current
- Managed clearing house trade confirmations of FPI, MF and other clients, securities payouts, brokerage payments
- Handling Debt & GSEC transactions of FPI and MF clients.
- Handling SLB transactions, SLB Brokerage payments
- Handled Collateral & Segregation reporting, Peak Margin reporting, penalty analysis, client queries, and recovery procedures.
- Conducted UAT testing for new processes and regulatory circulars; approved deployment to live environment.
- ISNWISE Fortnightly AUC reporting of FPI clients to NSDL & SEBI
- Monthly AUC annexure A B D E F G reporting to NSDL & SEBI
- Monthly Short Sell reporting to SEBI
- SBI client monthly billing
- Icustody, Cash PCM and other UAT testings and coordination with Vendor and OpsSupport team
- Client wise billing/charges calculation of Cbrics and ICDM platform and provide it to Accounts team to recover it from clients
- Handling client Saleable reporting, Holding reconciliation and resolving queries whenever there is mismatch
- Processing of Physical stock derivatives trades.
- OFS trades processing
Senior Manager – Custody Services
Kotak Mahindra Bank Ltd
05.2016 - 06.2022
- Managed clearing house trade confirmations, PMS allocations, fund & securities payouts, and Peak/Normal margin reporting.
- Led a team of six and ensured timely processing, regulatory compliance, and SLA adherence.
- Conducted UAT testing for new processes and regulatory circulars; approved deployment to live environment.
- Handled Collateral & Segregation reporting, Peak Margin reporting, penalty analysis, client queries, and recovery procedures.
- Managed PMS purchase/sell allocation process in compliance with regulatory norms.
- Executed depository operations including pay-ins, pay-outs, off-market transfers, account closures, and transmissions.
Deputy Manager I – Custody Services
ICICI Bank Ltd
10.2007 - 04.2016
- Managed clearing house trade confirmations, PMS allocations, fund & securities payouts
- Processed OFS/IPP/Tender offers and resolved audit queries.
- Conducted FII trades reporting to SEBI/RBI and prepared Net Investment reports.
- Managed Debt market trade settlement and confirmation.
- Verified and authorized reissuance and cancellation of ADR/GDR instructions.
- Managed billing for Custody, Depository and other securities market services.
- Handled manual billing for physical shareholders and income booking.
- Monitored RBI caution/banned lists for FII/NRI compliance.
Executive II – Account Servicing
ICICI Home Finance Ltd
06.2005 - 10.2007
- Processed customer/bank-induced account closures and KYC deviations.
- Handled name change, PAN update, signature modifications, and QAB reconciliations.
- Coordinated with branches on documentation issues and account servicing requests.
Operations Incharge
Sai Engineering Works
06.2005 - 10.2007
- Managed customer queries, vendor payments, workshop supervision, and client correspondence.
Education
Bachelor of Commerce - B.Com.
Mumbai University
03-2004
Skills
- Custody & Depository Operations
- Clearing & Settlement (NSE/BSE)
- PMS Operations
- Collateral & Segregation reporting
- Peak Margin Reporting
- Trade Confirmation & STP
- Operations management
- Decision-making capacity
- Problem-solving
- Project management
Certification
NCFM – Depository Module
Interests
Hobbies: Cricket, Music
Timeline
Deputy Manager – Custody Services
SBISG Global Securities Services Private Limited
06.2022 - Current
Senior Manager – Custody Services
Kotak Mahindra Bank Ltd
05.2016 - 06.2022
Deputy Manager I – Custody Services
ICICI Bank Ltd
10.2007 - 04.2016
Executive II – Account Servicing
ICICI Home Finance Ltd
06.2005 - 10.2007
Operations Incharge
Sai Engineering Works
06.2005 - 10.2007
Bachelor of Commerce - B.Com.
Mumbai University